0001104659-24-083104.txt : 20240726 0001104659-24-083104.hdr.sgml : 20240726 20240726193015 ACCESSION NUMBER: 0001104659-24-083104 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240227 FILED AS OF DATE: 20240726 DATE AS OF CHANGE: 20240726 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LINDSTROM RICHARD L MD CENTRAL INDEX KEY: 0001242177 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36554 FILM NUMBER: 241148495 MAIL ADDRESS: STREET 1: 2811 WESTWOOD PL CITY: WAYZATA STATE: MN ZIP: 55391 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: OCULAR THERAPEUTIX, INC CENTRAL INDEX KEY: 0001393434 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 15 CROSBY DRIVE CITY: BEDFORD STATE: MA ZIP: 01730 BUSINESS PHONE: 781-357-4000 MAIL ADDRESS: STREET 1: 15 CROSBY DRIVE CITY: BEDFORD STATE: MA ZIP: 01730 FORMER COMPANY: FORMER CONFORMED NAME: I-THERAPEUTIX INC DATE OF NAME CHANGE: 20070315 4 1 tm2420266-5_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2024-02-27 0 0001393434 OCULAR THERAPEUTIX, INC OCUL 0001242177 LINDSTROM RICHARD L MD C/O OCULAR THERAPEUTIX, INC. 15 CROSBY DRIVE BEDFORD MA 01730 1 0 0 0 0 Common Stock 2024-02-27 4 M 0 18939 8.80 A 139341 D Common Stock 2024-02-27 4 M 0 11363 8.80 A 150704 D Common Stock 2024-07-24 4 A 0 12000 0 A 162704 D Stock Option (Right to Buy) 8.80 2024-02-27 4 M 0 18939 0 D 2024-04-13 Common Stock 18939 0 D Stock Option (Right to Buy) 8.80 2024-02-27 4 M 0 11363 0 D 2024-04-13 Common Stock 11363 0 D Stock Option (Right to Buy) 7.91 2024-07-24 4 A 0 36000 0 A 2034-07-23 Common Stock 36000 36000 D On July 24, 2024, the reporting person was granted restricted stock units ("RSUs") under the 2021 Stock Incentive Plan, as amended, of Ocular Therapeutix, Inc. (the "Company"). Each RSU represents a right to receive one share of the Company's common stock. Subject to the reporting person's continued service on the Company's board of directors, the RSUs will vest with respect to 100% of the shares underlying the RSUs on the first anniversary of the grant date or, if earlier, immediately prior to the next annual meeting of stockholders occurring after the grant date. On February 27, 2024, the reporting person exercised an option to purchase 18,939 shares of the Company's common stock. The option was granted on April 14, 2014, and vested over four years, with 25% of the shares underlying the option vesting on April 11, 2015, and vesting monthly thereafter. On February 27, 2024, the reporting person exercised an option to purchase 11,363 shares of the Company's common stock. The option was granted on April 14, 2014, and vested over three years, vesting monthly beginning on the one-month anniversary of the Company's initial public offering. Subject to the reporting person's continued service on the Company's board of directors, the options will vest with respect to 100% of the shares underlying the options on the first anniversary of the grant date or, if earlier, immediately prior to the next annual meeting of stockholders occurring after the grant date. /s/Donald Notman, Attorney-in-Fact for Richard L. Lindstrom, M.D. 2024-07-26